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SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM N-8A
NOTIFICATION OF REGISTRATION FILED PURSUANT TO SECTION 8(a)
OF THE INVESTMENT COMPANY ACT OF 1940
The undersigned investment company hereby notifies the Securities and
Exchange Commission that it registers under and pursuant to the provisions of
Section 8(a) of the Investment Company Act of 1940 and in connection with such
notification of registration submits the following information:
NAME: Brantley Capital Corporation
ADDRESS OF PRINCIPAL BUSINESS OFFICE (NO. & STREET, CITY, STATE ZIP CODE):
20600 Chagrin Boulevard, Suite 1150, Cleveland, Ohio 44122
TELEPHONE NUMBER (INCLUDING AREA CODE): 216-283-4800
NAME AND ADDRESS OF AGENT FOR SERVICE OF PROCESS:
Michael J. Finn
Brantley Capital Management, Ltd.
20600 Chagrin Boulevard
Suite 1150
Cleveland, Ohio 44122
copy to:
Maryann A. Waryjas David A. Sturms
Jenner & Block Vedder, Price, Kaufman & Kammholz
One IBM Plaza 222 N. LaSalle Street
Chicago, Illinois 60606 Chicago, Illinois 60606
CHECK APPROPRIATE BOX:
Registrant is filing a Registration Statement pursuant to Section 8(b)
of the Investment Company Act of 1940 concurrently with the filing of form
N-8A: Yes [X] No [ ]
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ITEM 1. EXACT NAME OF REGISTRANT.
Brantley Capital Corporation.
ITEM 2. NAME OF STATE UNDER THE LAWS OF WHICH REGISTRANT WAS ORGANIZED OR
CREATED AND THE DATE OF SUCH ORGANIZATION OR CREATION.
Maryland; August 1, 1996.
ITEM 3. FORM OF ORGANIZATION OF REGISTRATION (FOR EXAMPLE, CORPORATION,
PARTNERSHIP, TRUST, JOINT STOCK COMPANY, ASSOCIATION, FUND).
Maryland corporation.
ITEM 4. CLASSIFICATION OF REGISTRANT (FACE-AMOUNT CERTIFICATE COMPANY,
UNIT INVESTMENT TRUST, OR MANAGEMENT COMPANY).
Management Company.
ITEM 5. IF REGISTRANT IS A MANAGEMENT COMPANY:
(A) STATE WHETHER REGISTRANT IS A "CLOSED-END" COMPANY OR AN
"OPEN-END" COMPANY.
Closed-end company.
(B) STATE WHETHER REGISTRANT IS REGISTERING AS A "DIVERSIFIED"
COMPANY OR A "NON-DIVERSIFIED" COMPANY (READ INSTRUCTION 4(I) CAREFULLY
BEFORE REPLYING).
Non-diversified company.
ITEM 6. NAME AND ADDRESS OF EACH INVESTMENT ADVISER OF REGISTRANT.
Brantley Capital Management, Ltd.
20600 Chagrin Boulevard
Suite 1150
Cleveland, Ohio 44122
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ITEM 7. IF REGISTRANT IS AN INVESTMENT COMPANY HAVING A BOARD OF
DIRECTORS, STATE THE NAME AND ADDRESS OF EACH OFFICER AND DIRECTOR OF
REGISTRANT.
Registrant maintains a board of directors.
Name and Address: Position with Registrant:
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Robert P. Pinkas Chairman of the Board,
20600 Chagrin Boulevard Chief Executive Officer,
Suite 1150 Chief Financial Officer,
Cleveland, Ohio 44122 Treasurer and Director
Michael J. Finn President and Director
20600 Chagrin Boulevard
Suite 1150
Cleveland, Ohio 44122
Paul H. Cascio Vice President and Secretary
20600 Chagrin Boulevard
Suite 1150
Cleveland, Ohio 44122
James R. Bergman Vice President
20600 Chagrin Boulevard
Suite 1150
Cleveland, Ohio 44122
L. Patrick Bales Director
20600 Chagrin Boulevard
Suite 1150
Cleveland, Ohio 44122
Benjamin F. Bryan Director
20600 Chagrin Boulevard
Suite 1150
Cleveland, Ohio 44122
Richard Moodie Director
20600 Chagrin Boulevard
Suite 1150
Cleveland, Ohio 44122
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ITEM 8. IF REGISTRANT IS AN UNINCORPORATED INVESTMENT COMPANY NOT HAVING
A BOARD OF DIRECTORS:
(A) STATE THE NAME AND ADDRESS OF EACH SPONSOR OF REGISTRANT;
(B) STATE THE NAME AND ADDRESS OF EACH OFFICER AND DIRECTOR OF EACH
SPONSOR OF REGISTRANT;
(C) STATE THE NAME AND ADDRESS OF EACH TRUSTEE AND EACH CUSTODIAN OF
REGISTRANT.
Not Applicable.
ITEM 9. (A) STATE WHETHER REGISTRANT IS CURRENTLY ISSUING AND OFFERING
ITS SECURITIES DIRECTLY TO THE PUBLIC (YES OR NO).
No.
(B) IF REGISTRANT IS CURRENTLY ISSUING AND OFFERING ITS SECURITIES
TO THE PUBLIC THROUGH AN UNDERWRITER, STATE THE NAME AND ADDRESS OF SUCH
UNDERWRITER.
Not applicable.
(C) IF THE ANSWER TO ITEM 9(A) IS "NO" AND THE ANSWER TO ITEM 9(B)
IS "NOT APPLICABLE," STATE WHETHER REGISTRANT PRESENTLY PROPOSES TO MAKE
A PUBLIC OFFERING OF ITS SECURITIES (YES OR NO).
Yes.
(D) STATE WHETHER REGISTRANT HAS ANY SECURITIES CURRENTLY ISSUED AND
OUTSTANDING (YES OR NO).
Yes.
(E) IF THE ANSWER TO ITEM 9(D) IS "YES," STATE AS OF A DATE NOT TO
EXCEED TEN DAYS PRIOR TO THE FILING OF THIS NOTIFICATION OF REGISTRATION
THE NUMBER OF BENEFICIAL OWNERS OF REGISTRANT'S OUTSTANDING SECURITIES
(OTHER THAN SHORT-TERM PAPER) AND THE NAME OF ANY COMPANY OWNING 10
PERCENT OR MORE OF REGISTRANT'S OUTSTANDING VOTING SECURITIES.
As of October 30, 1996, Robert P. Pinkas and Michael J. Finn
own all of the registrant's outstanding securities.
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ITEM 10. STATE THE CURRENT VALUE OF REGISTRANT'S TOTAL ASSETS.
$413,602
ITEM 11. STATE WHETHER REGISTRANT HAS APPLIED OR INTENDS TO APPLY FOR A
LICENSE TO OPERATE AS A SMALL BUSINESS INVESTMENT COMPANY UNDER THE SMALL
BUSINESS INVESTMENT ACT OF 1958 (YES OR NO).
No.
ITEM 12. ATTACH AS AN EXHIBIT A COPY OF THE REGISTRANT'S LAST REGULAR
PERIODIC REPORT TO ITS SECURITYHOLDERS, IF ANY.
Not applicable.
SIGNATURES
Pursuant to the requirements of the Investment Company Act of 1940, the
registrant has caused this notification of registration to be duly signed on
its behalf in the City of Cleveland and State of Ohio on the 30th day of
October, 1996.
BRANTLEY CAPITAL CORPORATION
By: /s/ ROBERT P. PINKAS
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Robert P. Pinkas
Chairman of the Board, Chief
Executive Officer, Chief Financial
Officer and Treasurer
ATTEST:
/s/ PAUL H. CASCIO
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Paul H. Cascio
Vice President and Secretary
